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Investment committee - sign off processes

muppetonastickmuppetonastick Member
in Paraplanning tips & tricks

Hi everyone,

I am about to embark on a big project to build processes around our investment committee for sign-off and suitability review of investments that are outside of our usual proposition. This will include ad-hoc work, trust investments, legacy etc.

I have a habit of going a bit overboard with detail when I don't need to so I was wondering if any of you had ideas about how to keep this kind of thing simple but without missing anything vital compliance-wise? Do you know of any good articles or resources that I can use to get some good ideas of where to begin?

Thanks everyone :)

Kat

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